Summary The Senior Officer-Associate Regional Director positions are in the Division of Examinations-Atlanta Regional Office (ARO) located in Atlanta, GA. and Miami Regional Office (MIRO) located in Miami, FL. These positions are open to US citizens.
Conditions of Employment
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
CITIZENSHIP: This position is open to US Citizens.
The Associate Regional Director, under the general direction of the Regional Director, plans and establishes policy for the Division of Examinations directs, coordinates, controls, and evaluates the performance in this area. The principal functions of this office include: conducting exams of investment companies, investment advisers, broker-dealers, transfer agents, and municipal advisors; providing interpretations regarding the application and meaning of Commission rules and regulations; and investigating possible violations of the federal securities laws.
Typical duties include:
Collaborating with headquarters, other regional offices and appropriate divisions in determining national and regional examination priorities.
In conjunction with headquarters staff, planning and evaluating the overall program of the Region with respect to compliance/examinations matters.
Ensuring that the overall compliance and examination activities are carried out consistent with overall Commission and Division guidelines and priorities.
Performing the full range of supervisory duties, including evaluating employee performance; making recommendations for appointment and promotion; hearing and resolving complaints; identifying development and training needs of employees; and other related supervisory tasks.
Communicating with FINRA and other self-regulatory organizations in order to monitor the operational and financial condition of securities industry registrants within the region.
Contacting and collaborating with high-ranking officials from other federal agencies and departments of government, congressional staff officials, state officials, and/or executives of comparable private sector organizations.
Participating in and/or planning public speaking events to educate the industry and general public about examination and Commission priorities.
Promoting the spirit and practice of diversity, equity, inclusion, and accessibility (DEIA), furthering the goals of equal employment opportunity (EEO) by taking positive steps to ensure the accomplishment of the Commission's DEIA objectives, and adhering to nondiscriminatory employment practices.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.
BASIC REQUIREMENT: All applicants must possess the following
J.D. or LL.B. degree --AND--
Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
SO-01: Applicant must at least four years of post J.D. work experience identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as contracts, dispositions, pleadings, and motions, which also includes at least three years of specialized experience:
Interpreting and applying the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
Providing guidance and evaluation on policy issues related to the federal securities laws; investigating possible violations of federal securities laws and regulations;
Examining or investigating clearing agencies, broker dealers, municipal securities dealers, municipal advisors, transfer agents, exchanges, investment advisers or investment companies; AND
Managing a team or group that conducts examinations, audits, or investigations of financial or securities firms.
FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html
Official Transcripts will be required at the time of appointment to verify educational eligibility.
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.